RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
S••••• O••••• K•••
- C•••••• A••••••• S•••••••• I•• independent RIA currentsince Jul 15, 2021 · Sarasota, Fl
- P•••• S••••••••• L•• no RAUMJun 12, 2017 to Jan 8, 2020 · Sarasota, Fl
- G•• S••••••••• I••• BD affiliatedJul 27, 2015 to May 11, 2017 · Sarasota, Fl
- R•••••• J•••• • A••••••••• I••• national BDMay 1, 2015 to Jul 28, 2015 · St. Petersburg, Fl
- S••••••• A••••••• G•••• unclassifiedAug 20, 2014 to Mar 24, 2015 · Sarasota, Fl
- G•• S••••••••• I••• BD affiliatedJul 21, 2010 to Aug 5, 2014 · Palm Beach Gardens, Fl
- P•••• S••••••••• L•• to C•••••• A••••••• S•••••••• I••left Jan 8, 2020, registered Jul 15, 2021 (554 days) · Affiliated broker-dealer or bank to independent RIA
- G•• S••••••••• I••• to P•••• S••••••••• L••left May 11, 2017, registered Jun 12, 2017 (32 days) · Other
- R•••••• J•••• • A••••••••• I••• to G•• S••••••••• I•••left Jul 28, 2015, registered Jul 27, 2015 (-1 days) · Other
- S••••••• A••••••• G•••• to R•••••• J•••• • A••••••••• I•••left Mar 24, 2015, registered May 1, 2015 (38 days) · Other
- G•• S••••••••• I••• to S••••••• A••••••• G••••left Aug 5, 2014, registered Aug 20, 2014 (15 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address